Essential Health and Safety Requirements for Machinery: A Comprehensive Guide

Introduction

Ensuring the safety of machinery is paramount in any industrial or operational setting. This article delves into the essential health and safety requirements for the design and construction of machinery, based on established European standards and guidelines, with a focus on compliance and risk mitigation. Understanding these principles is crucial for manufacturers, operators, and anyone involved in the machinery lifecycle, promoting a safer working environment and adherence to regulatory frameworks, potentially aligning with standards like “Eur 42” in broader European compliance contexts if applicable to specific machinery types.

General Principles of Machinery Safety

The foundation of machinery safety lies in a systematic approach to risk assessment and reduction. Manufacturers bear the responsibility to ensure that machinery is designed and built to minimize risks throughout its lifecycle, from production to decommissioning.

1. Risk Assessment and Reduction

A thorough risk assessment is the initial and ongoing step. This iterative process involves:

Defining Machinery Limits: Clearly outlining the intended use and reasonably foreseeable misuse of the machinery.
Hazard Identification: Pinpointing potential hazards and associated dangerous situations that the machinery might generate.
Risk Estimation: Evaluating the severity of potential injuries or health damage and the probability of these occurrences.
Risk Evaluation: Determining whether risk reduction is necessary based on the objectives of safety directives.
Hazard Elimination and Risk Reduction: Implementing protective measures in a prioritized order to eliminate hazards or reduce associated risks.

Alt Text: Diagram illustrating the iterative risk assessment process for machinery safety, including hazard identification, risk estimation, evaluation, and reduction.

This process is not a one-time activity but a continuous cycle that informs the design and construction phases, ensuring that safety is integrated from the outset.

2. Scope of Essential Requirements

The essential health and safety requirements are applicable when relevant hazards are present under the manufacturer’s foreseen conditions of use, including foreseeable abnormal situations. Regardless of specific hazards, the principles of safety integration, machinery marking, and instruction guidelines are always mandatory.

3. State of the Art and Objective Achievement

While the essential requirements are mandatory, complete adherence to every objective might not always be feasible due to technological limitations or the “state of the art.” In such cases, machinery must be designed and constructed to approach these objectives as closely as possible, demonstrating a commitment to ongoing safety improvement.

4. Annex Structure and Application

This comprehensive guide, structured into general and specific hazard sections, necessitates a holistic review to ensure all relevant essential requirements are met. The general principles apply to all machinery types, while specific sections address particular hazards. A complete risk assessment, as outlined in point 1, dictates which sections are most pertinent to a given machine’s design and operation.

1. Essential Health and Safety Requirements

1.1. General Remarks

1.1.1. Definitions

Clarity in terminology is crucial for effective safety implementation. Key definitions include:

(a) Hazard: A potential source of injury or health damage.
(b) Danger Zone: An area within or around machinery posing a risk to health or safety.
(c) Exposed Person: Anyone wholly or partially within a danger zone.
(d) Operator: Individuals involved in installing, operating, adjusting, maintaining, cleaning, repairing, or moving machinery.
(e) Risk: The combination of injury/damage probability and severity in a hazardous situation.
(f) Guard: A physical barrier providing protection.
(g) Protective Device: A mechanism (other than a guard) reducing risk, independently or with a guard.
(h) Intended Use: Machinery use as per the instruction manual.
(i) Reasonably Foreseeable Misuse: Use not intended in instructions but predictable human behavior.

1.1.2. Principles of Safety Integration

Safety integration should be a core design philosophy:

(a) Fitness for Function and Lifecycle Safety: Machinery must be designed for its intended purpose and be safely operable, adjustable, and maintainable, even considering foreseeable misuse. Safety measures should address all phases of the machinery’s life, including transport, assembly, dismantling, and disposal.
(b) Prioritized Risk Reduction Methods: Manufacturers must follow a hierarchy when choosing safety methods:
- Inherent Safe Design: Eliminate or reduce risks through design and construction.
- Protective Measures: Implement safeguards for unavoidable risks.
- User Information: Inform users about residual risks, training needs, and personal protective equipment (PPE) requirements.
(c) Foreseeable Misuse Consideration: Design and instructions must address not only intended use but also reasonably foreseeable misuse, preventing abnormal use that could create risks. Instructions should highlight uses that should be avoided based on experience.
(d) PPE Compatibility: Machinery design must consider operator constraints due to necessary or foreseeable PPE use.
(e) Essential Equipment and Accessories: Machinery must be supplied with all essential equipment and accessories for safe adjustment, maintenance, and operation.

Alt Text: Image depicting the principles of safety integration in machinery design, emphasizing risk elimination, protective measures, and user information.

1.1.3. Materials and Products

Materials used in machinery construction and products generated or used during operation must not compromise safety or health. For fluid-using machinery, designs must prevent risks during filling, use, recovery, or draining.

1.1.4. Lighting

Integral lighting must be provided where ambient lighting is insufficient to ensure safe operation. Lighting should be designed to eliminate shadows, glare, and dangerous stroboscopic effects on moving parts. Internal inspection and maintenance areas also require appropriate lighting.

1.1.5. Design for Handling

Machinery and its components must be designed for safe handling and transport. This includes:

Safe handling and transport capabilities.
Packaging or design for safe, damage-free storage.
Prevention of sudden movements or instability hazards during transport, as per instructions.

For items too heavy to move by hand, machinery must:

Have lifting gear attachments.
Be designed to accommodate lifting attachments.
Be shaped for easy attachment of standard lifting gear.

For manual movement, machinery must be easily movable or equipped for safe pickup and movement. Special arrangements are needed for hazardous tools or machinery parts, even if lightweight.

1.1.6. Ergonomics

Ergonomic principles must be applied to minimize operator discomfort, fatigue, and stress under intended use conditions. This includes:

Accommodating operator physical variability in size, strength, and stamina.
Providing sufficient space for body movements.
Avoiding machine-determined work rates.
Minimizing tasks requiring prolonged concentration.
Adapting the human-machine interface to operator characteristics.

1.1.7. Operating Positions

Operating positions must be designed to prevent risks from exhaust fumes and oxygen deficiency. In hazardous environments or when machinery creates such environments, adequate conditions and operator protection are mandatory. Cabins, when appropriate, should meet these requirements and include rapid and emergency evacuation routes.

1.1.8. Seating

Workstations integral to machinery should be designed for seat installation where appropriate. If seated operation is intended, seats must be provided. Operator seats must ensure stability and adjustability. For vibrating machinery, seats must minimize vibration transmission and withstand stress. Footrests with slip-resistant material are necessary where there’s no floor beneath the operator’s feet.

1.2. Control Systems

1.2.1. Safety and Reliability

Control systems are critical for preventing hazardous situations. They must:

Withstand operating stresses and external influences.
Prevent hardware or software faults from causing hazardous situations.
Prevent control logic errors from causing hazardous situations.
Prevent reasonably foreseeable human error during operation from causing hazardous situations.

Specific attention must be paid to preventing:

Unexpected machinery starts.
Uncontrolled parameter changes leading to hazards.
Prevention of stopping after a stop command.
Falling or ejection of moving parts or held pieces.
Impeded automatic or manual stopping of moving parts.
Ineffective protective devices or failure to give a stop command.
Incoherent application of safety-related control parts across machinery assemblies.

Cable-less controls must incorporate automatic stops upon loss of control signals or communication.

1.2.2. Control Devices

Control devices must be:

Clearly visible and identifiable, with pictograms where needed.
Positioned for safe, hesitation-free, and unambiguous operation.
Designed for movement consistent with their effect.
Located outside danger zones, except for necessary devices like emergency stops.
Positioned to prevent operation from causing additional risks.
Designed or protected to require deliberate action for hazardous effects.
Resistant to foreseeable forces, especially emergency stop devices.

Multi-action control devices must clearly display and confirm the action to be performed. Layout, travel, and resistance should be ergonomically compatible. Indicators necessary for safe operation must be readable from the control position. Operators must be able to ensure danger zones are clear before starting, or the control system must prevent starting if someone is present. If these are impossible, warning signals are required before startup. Control should be possible only from predetermined zones if needed. In multiple control position setups, only one should be usable at a time, excluding stop and emergency stop controls. Machinery with multiple operating positions must provide all necessary controls at each position without creating hazards between operators.

1.2.3. Starting

Machinery should start only by voluntary control device actuation. This applies to restarts after any stoppage and significant changes in operating conditions. Restarting or condition changes can be initiated by other devices only if it doesn’t create hazardous situations. Automatic mode machinery can restart or change conditions without intervention if safe. For machinery with multiple start controls creating mutual operator danger, additional devices are needed to eliminate risks. Specific sequences for starting/stopping must be enforced by devices ensuring correct order.

1.2.4. Stopping

1.2.4.1. Normal Stop

Machinery must have a control device for safe, complete stops. Each workstation needs a stop control for some or all functions, depending on hazards, to render machinery safe. Stop controls must override start controls. Energy supply to relevant actuators must be cut off upon stopping hazardous functions.

1.2.4.2. Operational Stop

For operational reasons, a stop control not cutting off actuator energy supply may be needed, but the stop condition must be monitored and maintained.

1.2.4.3. Emergency Stop

Machinery must include one or more emergency stop devices to avert actual or impending danger, except when it wouldn’t reduce risk or for portable hand-held/guided machinery. Devices must be:

Clearly identifiable, visible, and quickly accessible.
Capable of stopping hazardous processes rapidly without creating new risks.
Able to trigger or permit safeguard movements.

Once activated, emergency stop commands must be sustained until overridden intentionally and disengaging should only permit, not initiate, restart. The emergency stop function must always be available and operational, acting as a backup, not a replacement for other safeguards.

1.2.4.4. Assembly of Machinery

For interconnected machinery parts, stop controls, including emergency stops, must halt not just the machinery but also related equipment if continued operation is dangerous.

1.2.5. Selection of Control or Operating Modes

Selected control modes must override all others except emergency stops. Machinery designed for multiple modes needing different protective measures should have a mode selector lockable in each position. Each position must be clearly identifiable and correspond to a single mode. Selectors can be replaced by methods restricting function use to specific operator categories. For operations requiring guards displaced or protective devices disabled, mode selectors must:

Disable all other modes.
Allow hazardous function operation only by sustained action controls.
Permit hazardous function operation under reduced risk conditions, preventing linked sequence hazards.
Prevent hazardous function operation by voluntary or involuntary sensor action.

If all four conditions cannot be met simultaneously, the selector must activate other protective measures ensuring a safe intervention zone. Operators must also control parts they are working on from the adjustment point.

1.2.6. Failure of Power Supply

Power supply interruptions, re-establishment, or fluctuations must not lead to dangerous situations, especially concerning:

Unexpected machinery starts.
Uncontrolled parameter changes causing hazards.
Prevention of stopping after a stop command.
Falling or ejection of moving parts or held pieces.
Impeded automatic or manual stopping of moving parts.
Ineffective protective devices or failure to give a stop command.

1.3. Protection Against Mechanical Hazards

1.3.1. Risk of Loss of Stability

Machinery and its components must be stable enough to prevent overturning, falling, or uncontrolled movements during all phases, including transportation, assembly, and dismantling. If inherent shape or installation is insufficient, anchorage means, indicated in instructions, are necessary.

1.3.2. Risk of Break-up During Operation

Machinery parts and linkages must withstand operational stresses. Material durability must suit the working environment, considering fatigue, aging, corrosion, and abrasion. Instructions must detail inspection and maintenance frequency for safety and identify wear parts and replacement criteria. Where rupture risks remain, parts must be guarded to contain fragments. Pipes carrying fluids, especially under pressure, must withstand stresses and be protected against rupture risks. Automatic workpiece feeding requires tool attainment of normal working condition before contact and coordinated feed and tool movements during start/stop.

1.3.3. Risks Due to Falling or Ejected Objects

Precautions are mandatory to prevent risks from falling or ejected objects.

1.3.4. Risks Due to Surfaces, Edges or Angles

Accessible machinery parts, as functionality allows, must be free of sharp edges, angles, and rough surfaces that could cause injury.

1.3.5. Risks Related to Combined Machinery

Combined machinery for sequential operations with manual piece removal must allow independent use of each element without risk from others. Separately starting and stopping unprotected elements must be possible.

1.3.6. Risks Related to Variations in Operating Conditions

Machinery operating under varying conditions must be designed for safe and reliable condition selection and adjustment.

1.3.7. Risks Related to Moving Parts

Moving machinery parts must prevent contact risks leading to accidents, or be fitted with guards or protective devices if risks persist. Accidental blockage prevention for moving work parts is essential. If blockage is likely, specific protective devices and tools for safe unblocking must be provided, identified in instructions and signage.

1.3.8. Choice of Protection Against Risks Arising from Moving Parts

Guard or protective device selection depends on risk type, following these guidelines:

1.3.8.1. Moving Transmission Parts

Guards must be fixed or interlocking movable. Interlocking movable guards are preferred for frequent access.

1.3.8.2. Moving Parts Involved in the Process

Protection can be fixed guards, interlocking movable guards, protective devices, or combinations. For parts inaccessible during operation due to necessary intervention, fixed or interlocking movable guards preventing access to unused sections, and adjustable guards restricting access to necessary areas are required.

1.3.9. Risks of Uncontrolled Movements

Stopped machinery parts must be prevented from drifting from the stopping position in a hazardous way, unless controlled by devices.

1.4. Required Characteristics of Guards and Protective Devices

1.4.1. General Requirements

Guards and protective devices must:

Be of robust construction.
Be securely held in place.
Not create additional hazards.
Be difficult to bypass or disable.
Be adequately distanced from danger zones.
Minimize production process view obstruction.
Enable essential work (tool changes, maintenance) by restricting access only to necessary areas, ideally without removal or disabling.

Guards should also protect against ejection, falling materials, and machinery emissions where possible.

1.4.2. Special Requirements for Guards

1.4.2.1. Fixed Guards

Fixed guards must be secured by systems openable/removable only with tools. Fixings must remain attached to guards or machinery when removed. Guards should be incapable of staying in place without fixings where feasible.

1.4.2.2. Interlocking Movable Guards

Interlocking movable guards must:

Remain attached to machinery when open if possible.
Be adjustable only by intentional action.

They must include an interlocking device that:

Prevents hazardous function start until closed.
Issues a stop command if opened.

Where danger zone access is possible before risk cessation, guard locking devices, in addition to interlocking, are required to:

Prevent hazardous function start until closed and locked.
Keep guard locked until risk has ceased.

Absence or failure of components in interlocking movable guards must prevent starting or stop hazardous functions.

1.4.2.3. Adjustable Guards Restricting Access

Adjustable guards must:

Be manually or automatically adjustable based on work type.
Be easily adjustable without tools.

1.4.3. Special Requirements for Protective Devices

Protective devices must be designed and integrated to:

Prevent moving part starts within operator reach.
Prevent operator reach to moving parts while moving.
Ensure component absence or failure prevents start or stops moving parts.

Adjustments should only be possible through intentional action.

1.5. Risks Due to Other Hazards

1.5.1. Electricity Supply

Electrically powered machinery must prevent all electrical hazards, meeting Directive 73/23/EEC safety objectives. Conformity assessment, market placement, and service obligations for electrical hazards are governed solely by this directive.

1.5.2. Static Electricity

Machinery must prevent or limit dangerous electrostatic charge build-up and/or include a discharging system.

1.5.3. Energy Supply Other Than Electricity

Machinery powered by non-electrical sources must prevent all potential risks associated with these energy sources.

1.5.4. Errors of Fitting

Design or information on parts/housings must prevent fitting/refitting errors causing risks. Same information for moving parts/housings where movement direction is crucial. Instructions should provide further risk information. Incorrect connections leading to risk must be made impossible by design or information on elements and connections.

1.5.5. Extreme Temperatures

Steps must eliminate injury risks from contact with or proximity to hot or cold parts/materials. Protection against ejected hot/cold material is also necessary.

1.5.6. Fire

Machinery design and construction must prevent fire or overheating risks from the machinery itself or produced substances.

1.5.7. Explosion

Machinery design and construction must prevent explosion risks from the machinery or produced substances. Compliance with specific Community Directives for explosion risks in potentially explosive atmospheres is mandatory.

1.5.8. Noise

Machinery noise emissions must be reduced to the lowest level using technical progress and noise reduction means, especially at the source. Comparative emission data for similar machinery can assess noise levels.

1.5.9. Vibrations

Machinery vibration risks must be minimized using technical progress and vibration reduction means, particularly at the source. Comparative emission data can assess vibration levels.

1.5.10. Radiation

Undesirable radiation emissions must be eliminated or reduced to non-harmful levels. Functional ionizing radiation must be limited to the minimum for proper operation during setting, operation, and cleaning, with protective measures when risk exists. Functional non-ionizing radiation must also be limited to non-harmful levels.

1.5.11. External Radiation

Machinery must be designed to prevent external radiation interference with operation.

1.5.12. Laser Radiation

For laser equipment:

Prevent accidental radiation.
Protect against effective, reflected, diffused, and secondary radiation.
Ensure optical equipment for observation/adjustment does not create laser radiation risks.

1.5.13. Emissions of Hazardous Materials and Substances

Machinery must prevent risks of inhalation, ingestion, skin/eye/mucous membrane contact, and skin penetration of hazardous materials. If elimination is impossible, containment, evacuation, precipitation, filtering, or equally effective treatment is required. For non-enclosed processes, containment/evacuation devices must maximize effectiveness.

1.5.14. Risk of Being Trapped in a Machine

Machinery must prevent entrapment or, if unavoidable, include means of summoning help.

1.5.15. Risk of Slipping, Tripping or Falling

Parts where persons move or stand must prevent slipping, tripping, or falling. Handholds fixed relative to the user must be provided for stability.

1.5.16. Lightning

Machinery needing lightning protection must have a system to conduct electrical charge to earth.

1.6. Maintenance

1.6.1. Machinery Maintenance

Adjustment and maintenance points must be outside danger zones. Operations must be possible with machinery at standstill. If technically impossible, safe operation measures (see section 1.2.5) are required. Automated and other necessary machinery must have diagnostic fault-finding equipment connectors. Automated component replacements must be easy and safe, with accessible components and specified methods.

1.6.2. Access to Operating Positions and Servicing Points

Machinery design must allow safe access to all intervention areas during operation, adjustment, and maintenance.

1.6.3. Isolation of Energy Sources

Machinery must have means to isolate it from all energy sources, clearly identified and lockable if reconnection poses danger. Isolators must also be lockable if energy cut-off verification is impossible from access points. For plug-in machinery, plug removal is sufficient if verifiable from access points. Stored energy dissipation after cut-off must be risk-free. Exceptions allow circuits to remain connected for holding parts, protecting data, etc., with special safety measures.

1.6.4. Operator Intervention

Machinery must minimize operator intervention needs. Unavoidable interventions must be easy and safe.

1.6.5. Cleaning of Internal Parts

Internal parts containing dangerous substances must be cleanable without entry; unblocking also from outside. If entry is unavoidable, safe cleaning design is required.

1.7. Information

1.7.1. Information and Warnings on the Machinery

Symbols or pictograms are preferred for information and warnings. Written/verbal information must be in official Community languages, possibly with translations understood by operators.

1.7.1.1. Information and Information Devices

Control information must be unambiguous, easily understood, and not excessive. Visual displays and interactive communication must be user-friendly.

1.7.1.2. Warning Devices

Machinery operation faults endangering safety require acoustic or light warning signals. Devices must be unambiguous and easily perceived, with operator-checkable operation. Compliance with specific Community Directives on colors and safety signals is mandatory.

1.7.2. Warning of Residual Risks

Warnings, including devices, are mandatory for residual risks despite safe design, safeguarding, and protective measures.

1.7.3. Marking of Machinery

Machinery must be visibly, legibly, and indelibly marked with:

Manufacturer’s business name and address.
Machinery designation.
CE Marking.
Series or type designation.
Serial number (if any).
Year of construction.

Pre-dating or post-dating CE marking is prohibited. Machinery for explosive atmospheres must be marked accordingly. Full information relevant to type and safe use is also required, subject to section 1.7.1 requirements. Lifting equipment parts must have mass indicated legibly, indelibly, and unambiguously.

1.7.4. Instructions

All machinery must include instructions in the official Community language(s) of the Member State where it is marketed/put into service. Instructions can be “Original instructions” or “Translation of original instructions” (with originals included). Maintenance instructions for specialized personnel may be in one Community language understood by them. Instructions must adhere to these principles:

1.7.4.1. General Principles for Drafting Instructions

(a) Instructions in official Community languages. “Original instructions” on manufacturer-verified versions.
(b) Translations for countries without “Original instructions” in their language. “Translation of original instructions” marking required.
(c) Content covering intended use and reasonably foreseeable misuse.
(d) Wording and layout for non-professional users must consider their education and acumen level.

1.7.4.2. Contents of the Instructions

Each manual must include, where applicable:

(a) Manufacturer’s name and address.
(b) Machinery designation (excluding serial number).
(c) EC declaration of conformity (or document with contents).
(d) General machinery description.
(e) Drawings, diagrams, descriptions for use, maintenance, repair, and function checks.
(f) Operator workstation descriptions.
(g) Intended machinery use description.
(h) Warnings about foreseeable misuse.
(i) Assembly, installation, and connection instructions.
(j) Noise/vibration reduction installation/assembly instructions.
(k) Instructions for putting into service, use, and operator training (if needed).
(l) Information on residual risks.
(m) User protective measures, including PPE.
(n) Essential tool characteristics.
(o) Stability conditions during use, transport, assembly, dismantling, testing, breakdowns.
(p) Safe transport, handling, and storage instructions, including mass of machinery and parts.
(q) Operating method in case of accident/breakdown; unblocking method if blockage likely.
(r) User-performed adjustment/maintenance and preventive maintenance measures.
(s) Safe adjustment/maintenance instructions, including protective measures.
(t) Spare part specifications affecting health and safety.
(u) Airborne noise emission information (sound pressure level, peak sound pressure, sound power level) with uncertainties, measurement conditions, and methods.
(v) Non-ionizing radiation information for operators and exposed persons, especially those with implants.

1.7.4.3. Sales Literature

Sales literature must not contradict instructions regarding health and safety. Performance characteristics descriptions must match instruction emission information.

2. Supplementary Essential Health and Safety Requirements for Certain Categories of Machinery

Specific machinery categories like foodstuffs, cosmetics/pharmaceuticals, hand-held/guided, portable fixing, and woodworking machinery must meet all essential requirements in this chapter.

2.1. Foodstuffs Machinery and Machinery for Cosmetics or Pharmaceutical Products

2.1.1. General

Machinery for foodstuffs, cosmetics, or pharmaceuticals must prevent infection, sickness, or contagion. Requirements include:

(a) Materials contacting products must meet relevant Directives and be cleanable before each use or be disposable.
(b) Product contact surfaces (excluding disposables) must be smooth, crevice-free, minimal projections/edges/recesses, easily cleanable/disinfected, and have curved inner surfaces for thorough cleaning.
(c) Liquids, gases, aerosols from products and cleaning fluids must be completely dischargeable (ideally in a “cleaning” position).
(d) Machinery must prevent substance/living creature entry or organic matter accumulation in uncleaned areas.
(e) No ancillary health-hazardous substances, including lubricants, should contact products. Compliance checks should be possible.

2.1.2. Instructions

Instructions must specify recommended cleaning, disinfecting, and rinsing products/methods for accessible and inaccessible areas.

2.2. Portable Hand-Held and/or Hand-Guided Machinery

2.2.1. General

Portable machinery must:

Have sufficient supporting surface and handles/supports for stability under intended conditions.
Have manual start/stop controls operable without releasing handles, unless technically impossible or with independent control.
Prevent accidental starting/continued operation after handle release. Equivalent measures if technically infeasible.
Permit danger zone and tool/material interaction visual observation.

Handles must be designed for straightforward starting and stopping.

2.2.1.1. Instructions

Instructions must include vibration information:

Hand-arm system vibration total value (if > 2.5 m/s²). If not exceeding, it must be stated.
Measurement uncertainty.

Values must be measured or based on comparable machinery. Non-harmonized standards require use of most appropriate measurement code. Operating conditions, measurement methods, or harmonized standard reference must be specified.

2.2.2. Portable Fixing and Other Impact Machinery

2.2.2.1. General

Portable fixing machinery must:

Transmit energy via a non-leaving intermediary component.
Have an enabling device preventing impact unless correctly positioned with pressure.
Prevent involuntary triggering; specific action sequence for impact may be needed.
Prevent accidental triggering during handling/shock.
Allow easy and safe loading/unloading.

Splinter guards may be necessary and must be provided by the manufacturer.

2.2.2.2. Instructions

Instructions must specify:

Usable accessories and interchangeable equipment.
Suitable fixing/impacted elements.
Suitable cartridges (if applicable).

2.3. Machinery for Working Wood and Material with Similar Physical Characteristics

Woodworking machinery must comply with:

(a) Design for safe workpiece placement and guidance. Workbenches for hand-held pieces must be stable and not impede workpiece movement.
(b) Ejection risk prevention for workpieces/parts. If prevention is impossible, ejection must not endanger operators/exposed persons.
(c) Automatic brake stopping the tool quickly if contact risk exists during rundown.
(d) Non-fully automated machinery must eliminate or reduce accidental injury risks.

3. Supplementary Essential Health and Safety Requirements to Offset Hazards Due to the Mobility of Machinery

Mobile machinery hazards require adherence to all essential requirements in this chapter.

3.1. General

3.1.1. Definitions

(a) Machinery Presenting Hazards Due to its Mobility: Machinery requiring mobility while working, continuous/semi-continuous movement between fixed locations, or machinery movable for easier relocation.
(b) Driver: Operator responsible for machine movement, either on the machinery, on foot accompanying it, or remote control.

3.2. Work Positions

3.2.1. Driving Position

Visibility must ensure driver safety and safety of exposed persons under foreseeable use conditions. Devices to remedy inadequate direct vision are needed. Ride-on machinery must prevent driver contact risk with wheels/tracks. Ride-on driver positions must allow cab fitting if it doesn’t increase risk and space permits. Cabs must have space for driver instructions.

3.2.2. Seating

Crushing risk between machinery and ground during rollover/tip-over requires seats designed or equipped with restraint systems to keep occupants in seats (especially for machinery with protective structures). Restraints should not increase risk.

3.2.3. Positions for Other Persons

If conditions allow transportation or work by others besides the driver, safe positions must be provided. Section 3.2.1 paragraphs 2 and 3 also apply to these positions.

3.3. Control Systems

Unauthorized control use must be prevented if necessary. Remote controls must clearly identify the machinery controlled. Remote control systems must affect only the intended machinery and functions, responding only to intended control units.

3.3.1. Control Devices

Drivers must actuate all controls from the driving position, except for functions safely actuated elsewhere (e.g., functions for other operators or requiring driver exit). Pedals must be designed for safe operation, minimizing incorrect operation, slip-resistant, and easy to clean. Controls leading to hazards, except preset position controls, must return to neutral upon release. Wheeled machinery steering systems must reduce sudden steering wheel/lever movements from guide wheel shocks. Differential lock controls must allow unlocking when moving. Section 1.2.2 paragraph 6 warning signal provisions apply only to reversing.

3.3.2. Starting/Moving

Self-propelled ride-on machinery travel movements must only be possible with the driver at controls. Machinery with devices exceeding normal clearance zone (stabilizers, etc.) must provide means for drivers to verify safe movement positions before moving. This applies to all parts needing specific safe movement positions. Movement must depend on safe positioning of these parts unless it creates other risks. Unintentional movement during engine start must be prevented.

3.3.3. Travelling Function

Self-propelled machinery and trailers must meet braking, stopping, and immobilization requirements for safety under all operating, load, speed, ground, and gradient conditions, regardless of road traffic regulations. Drivers must slow down/stop self-propelled machinery with a main device. Emergency devices with independent, accessible controls are needed for main device failure or energy supply absence. Parking devices must immobilize stationary machinery, possibly combined with other devices if purely mechanical. Remote-controlled machinery must automatically and immediately stop and prevent dangerous operation in driver control loss, stop signal receipt, safety-related system fault, or no validation signal within specified time. Section 1.2.4 does not apply to the traveling function.

3.3.4. Movement of Pedestrian-Controlled Machinery

Pedestrian-controlled self-propelled machinery movement must require sustained driver action on controls and prevent movement during engine start. Control systems must minimize risks of inadvertent machine movement towards driver (crushing, rotating tool injury). Machinery speed must match pedestrian pace. Rotary tools must not actuate with reverse control engaged, except when machine movement results from tool movement, in which case reversing speed must be safe.

3.3.5. Control Circuit Failure

Power-assisted steering failure must not prevent steering for stopping time.

3.4. Protection Against Mechanical Hazards

3.4.1. Uncontrolled Movements

Machinery must be designed and placed on mobile supports to prevent uncontrolled center of gravity oscillations affecting stability or straining structure during movement.

3.4.2. Moving Transmission Parts

Engine compartment movable guards for moving parts need not have interlocking devices if opened with tools/keys or driving position control in a locked, enclosed cab, preventing unauthorized access (exception to section 1.3.8.1).

3.4.3. Roll-over and Tip-over

Ride-on self-propelled machinery with rollover/tip-over risk must have protective structures, unless this increases risk. Structures must provide adequate deflection-limiting volume in such events. Manufacturer testing is needed to verify compliance.

3.4.4. Falling Objects

Ride-on self-propelled machinery with falling object/material risk must be designed to account for this and fitted with protective structures if size permits. Structures must guarantee adequate deflection-limiting volume. Manufacturer testing is needed for verification.

3.4.5. Means of Access

Handholds and steps must be designed for instinctive use, not using controls for access.

3.4.6. Towing Devices

Towing machinery must have secure coupling devices for easy, safe connection/disconnection and prevent accidental disconnection during use. Support with load-suited bearing surface is needed based on tow bar load.

3.4.7. Transmission of Power Between Self-Propelled Machinery (or Tractor) and Recipient Machinery

Removable mechanical transmission devices linking self-propelled machinery to recipient machinery must have protected moving parts over their entire length. Self-propelled machinery power take-offs must be guarded. Guards must be openable for transmission device access and provide clearance when machinery moves. Recipient machinery input shafts must be enclosed in protective casings. Torque limiters/freewheels are only allowed on the driven machinery side of universal joint transmissions. Removable devices must be marked. Recipient machinery requiring removable transmission devices must have systems to attach them so devices and guards are not damaged when uncoupled. Guard outer parts must not turn with transmission devices and must cover transmissions to inner jaw ends for simple joints and outer joint centers for wide-angle joints. Access near transmission devices must prevent shaft guards from being used as steps unless designed for that.

3.5. Protection Against Other Hazards

3.5.1. Batteries

Battery housings must prevent electrolyte ejection onto operators during rollover/tip-over and vapor accumulation in operator areas. Batteries must be disconnectable with accessible devices.

3.5.2. Fire

Machinery must, if size permits, allow easy fire extinguisher fitting or include built-in extinguisher systems, based on anticipated hazards.

3.5.3. Emissions of Hazardous Substances

Section 1.5.13 paragraphs 2 and 3 are waived if spraying products is the main function, but operator protection from hazardous emissions is still required.

3.6. Information and Indications

3.6.1. Signs, Signals and Warnings

Machinery must have use, adjustment, and maintenance signs/plates for health and safety, clearly visible and indelible. Ride-on machinery must have acoustic warning devices, light signals (except for underground, non-electric machinery), and trailer signal connections. Remote-controlled machinery posing impact/crushing risks must have movement signals or protection. This also applies to constant forward/backward movement on a single axis where the rear is not visible. Warning/signaling devices must be unintentionally disable-proof, and essential safety devices must have means to check functionality, with failures indicated to the operator. Particularly hazardous movements require signs warning against approaching during operation, legible at a safe distance.

3.6.2. Marking

Machinery must legibly and indelibly show nominal power (kW), mass (kg), and, if applicable, maximum drawbar pull (N) and vertical load (N).

3.6.3. Instructions

3.6.3.1. Vibrations

Instructions must include vibration information: hand-arm system vibration total value (if > 2.5 m/s²), whole-body weighted acceleration (if > 0.5 m/s²), and measurement uncertainty. Values must be measured or comparable machinery-based. Non-harmonized standards require most appropriate measurement code use. Operating conditions and measurement codes must be described.

3.6.3.2. Multiple Uses

Instructions for multi-use machinery and interchangeable equipment must include safe assembly and use information for both basic machinery and equipment.

4. Supplementary Essential Health and Safety Requirements to Offset Hazards Due to Lifting Operations

Lifting operation hazards necessitate compliance with all relevant essential requirements in this chapter.

4.1. General

4.1.1. Definitions

(a) Lifting Operation: Unit load movement (goods/persons) involving level changes.
(b) Guided Load: Load movement along rigid/flexible guides at fixed points.
(c) Working Coefficient: Ratio of component guaranteed load capacity to maximum working load.
(d) Test Coefficient: Ratio of load used in static/dynamic tests to maximum working load.
(e) Static Test: Initial inspection, force application (maximum working load x static test coefficient), and re-inspection for damage after load release.
(f) Dynamic Test: Machinery operation in all configurations at maximum working load x dynamic test coefficient, considering dynamic behavior for function check.
(g) Carrier: Machinery part supporting persons/goods for lifting.

4.1.2. Protection Against Mechanical Hazards

4.1.2.1. Risks Due to Lack of Stability

Machinery must maintain stability in and out of service, during transport, assembly, dismantling, component failures, and tests, using appropriate verification methods.

4.1.2.2. Machinery Running on Guide Rails and Rail Tracks

Derailment prevention devices on guide rails/tracks are required. If derailment or rail/component failure risk remains, devices preventing falling equipment/load or overturning machinery are needed.

4.1.2.3. Mechanical Strength

Machinery, accessories, and components must withstand stresses during use and non-use, installation, operation, configurations, atmospheric factors, and human forces. This includes transport, assembly, and dismantling. Fatigue and wear prevention design is crucial, considering intended use. Material selection must consider working environments, corrosion, abrasion, impacts, temperatures, fatigue, brittleness, and aging. Machinery and accessories must withstand static test overloads without permanent deformation or defects. Strength calculations must consider static test coefficients (manual machinery/accessories: 1.5; other machinery: 1.25). Machinery must withstand dynamic tests at maximum working load x dynamic test coefficient (typically 1.1), generally at nominal speeds, under least favorable conditions (combining movements if control circuit allows).

4.1.2.4. Pulleys, Drums, Wheels, Ropes and Chains

Pulley, drum, and wheel diameters must suit rope/chain size. Drums/wheels must prevent rope/chain derailment. Lifting ropes must not have splices except at ends (splices allowed in installations designed for regular modification). Complete ropes and endings must have working coefficients (typically 5). Lifting chains must have working coefficients (typically 4). Manufacturer testing is needed to verify adequate working coefficients for ropes, chains, and rope ends used directly for lifting.

4.1.2.5. Lifting Accessories and Their Components

Accessories and components must be sized considering fatigue and aging for expected operating cycles. Wire-rope/rope-end combination working coefficients are typically 5. Ropes must not have splices or loops except at ends. Welded link chains must be short-link type with working coefficients typically 4. Textile rope/sling coefficients (typically 7 for high-quality materials and manufacturing, higher if not) depend on material, manufacturing, dimensions, and use. Textile ropes/slings must not have knots, connections, or splices except at endless sling ends. Metallic sling components must have working coefficients typically 4. Multilegged sling maximum working load is based on the weakest leg’s coefficient, leg number, and slinging configuration reduction factor. Manufacturer testing is needed to verify component working coefficients.

4.1.2.6. Control of Movements

Movement control devices must keep machinery safe. Movement amplitude must be limited, with warnings preceding operation of such devices if appropriate. Collision risk for simultaneously maneuverable fixed or rail-mounted machines requires systems to avoid risks. Loads must not creep dangerously or fall unexpectedly, even during power failures or operator stops. Load lowering solely by friction brake is prohibited, except for machinery designed to operate that way. Holding devices must prevent inadvertent load dropping.

4.1.2.7. Movements of Loads During Handling

Machinery operating positions must provide widest trajectory view to avoid collisions with persons, equipment, or other maneuvering machinery. Guided load machinery must prevent injury from load, carrier, or counterweight movement.

4.1.2.8. Machinery Serving Fixed Landings

4.1.2.8.1. Movements of the Carrier

Carrier movement must be rigidly guided to and at landings (scissor systems considered rigid).

4.1.2.8.2. Access to the Carrier

Carrier must remain stationary during access, especially during loading/unloading. Level difference between carrier and landing must not create tripping risks.

4.1.2.8.3. Risks Due to Contact with the Moving Carrier

Travel zones must be inaccessible during normal operation. Crushing risks between carrier and fixed parts during inspection/maintenance require sufficient free space via physical refuges or carrier movement blocking devices.

4.1.2.8.4. Risk Due to the Load Falling Off the Carrier

Machinery must prevent load falling risks.

4.1.2.8.5. Landings

Risks from person contact with moving carriers or parts at landings must be prevented. Fall risks into travel zones when carriers are not at landings require guards. Guards must not open towards travel zones and must have interlocking devices controlled by carrier position, preventing hazardous carrier movements until guards are closed/locked and hazardous guard opening until carriers stop at landings.

4.1.3. Fitness for Purpose

Manufacturers must ensure machinery and accessories, manual or powered, fulfill specified functions safely when marketed or first used. Static and dynamic tests (section 4.1.2.3) are mandatory for all lifting machinery before service. If machinery cannot be assembled at the manufacturer’s premises, measures must be taken at the place of use.

4.2. Requirements for Machinery Whose Power Source Is Other Than Manual Effort

4.2.1. Control of Movements

Hold-to-run control devices are required for machinery/equipment movements, except for partial/complete movements without collision risks, where automatic stop controls at pre-selected positions are allowed without hold-to-run.

4.2.2. Loading Control

Machinery with maximum working load ≥ 1000 kg or overturning moment ≥ 40000 Nm must have warning devices and prevent dangerous movements in overload (working load or moment exceeded) or overturning moment exceeded events.

4.2.3. Installations Guided by Ropes

Rope carriers, tractors, or tractor carriers must be held by counterweights or tension control devices.

4.3. Information and Markings

4.3.1. Chains, Ropes and Webbing

Each length of lifting chain, rope, or webbing must have a mark or plate/ring with manufacturer name/address and certificate reference. Certificates must include manufacturer details, chain/rope description (size, construction, material, treatment), test method, and maximum service load (possibly a range).

4.3.2. Lifting Accessories

Accessories must show material identification (if needed for safe use) and maximum working load. If marking is impossible, particulars must be on a securely affixed plate/equivalent. Markings must be legible and durable.

4.3.3. Lifting Machinery

Maximum working load must be prominently, legibly, indelibly, and un-codedly marked. Configuration-dependent maximum working loads require load plates at each operating position, indicating permitted loads per configuration (diagrams or tables preferred). Goods-only lifting machinery with person-accessible carriers must have clear, indelible warnings against person lifting, visible at all access points.

4.4. Instructions

4.4.1. Lifting Accessories

Each accessory or batch must have instructions detailing intended use, use limits (especially for non-compliant accessories like magnetic/vacuum pads), assembly/use/maintenance instructions, and static test coefficient.

4.4.2. Lifting Machinery

Machinery instructions must include technical characteristics (maximum working load, load plate copy, support/anchor reactions, track characteristics, ballast definition/installation), logbook contents (if not included), usage advice (especially for load visibility), test reports (static/dynamic), and assembly instructions for machinery not assembled at the manufacturer’s premises.

5. Supplementary Essential Health and Safety Requirements for Machinery Intended for Underground Work

Underground work machinery must meet all essential requirements in this chapter.

5.1. Risks Due to Lack of Stability

Powered roof supports must maintain direction during movement, not slip before/during/after load application/removal, and have anchorages for hydraulic prop top plates.

5.2. Movement

Powered roof supports must allow unhindered person movement.

5.3. Control Devices

Rail-running machinery accelerator/brake controls must be hand-operated (enabling devices may be foot-operated). Powered roof support controls must be positioned to shelter operators during displacement and be protected against accidental release.

5.4. Stopping

Self-propelled rail-running underground machinery must have enabling devices stopping movement if driver loses control.

5.5. Fire

Section 3.5.2 second indent (fire extinguisher provision) is mandatory for machinery with highly flammable parts. Underground machinery braking systems must not produce sparks or cause fires. Underground internal combustion engines must use low vaporizing pressure fuel and exclude electrical sparks.

5.6. Exhaust Emissions

Internal combustion engine exhaust emissions must not be discharged upwards.

6. Supplementary Essential Health and Safety Requirements for Machinery Presenting Particular Hazards Due to the Lifting of Persons

Person-lifting machinery hazards require adherence to all relevant essential requirements in this chapter.

6.1. General

6.1.1. Mechanical Strength

Carriers, including trapdoors, must offer space and strength for maximum persons and working load. Component working coefficients (sections 4.1.2.4 and 4.1.2.5) must be doubled. Suspension/support systems must ensure overall safety and prevent carrier falling. Rope/chain suspension generally requires at least two independent ropes/chains with separate anchorages.

6.1.2. Loading Control for Machinery Moved by Power Other than Human Strength

Section 4.2.2 requirements apply regardless of maximum working load/moment, unless manufacturers prove no overloading/overturning risks.

6.2. Control Devices

Unless safety dictates otherwise, carriers must allow occupants to control upward/downward and other carrier movements. Carrier controls must override other movement controls, except emergency stops, and be hold-to-run type, unless carriers are fully enclosed.

6.3. Risks to Persons In or On the Carrier

6.3.1. Risks Due to Movements of the Carrier

Carrier acceleration/deceleration must not create risks for occupants.

6.3.2. Risk of Persons Falling from the Carrier

Carriers must not tilt to fall-risk levels, even during movement. Workstation carriers must ensure stability and prevent hazardous movements. If section 1.5.15 measures are insufficient, carriers must have sufficient anchorage points for occupants using fall protection PPE. Floor/ceiling trapdoors and side doors must prevent inadvertent opening and open in directions preventing fall risks if unexpectedly opened.

6.3.3. Risk Due to Objects Falling on the Carrier

Carriers must have protective roofs if object fall risks exist.

6.4. Machinery Serving Fixed Landings

6.4.1. Risks to Persons in or on the Carrier

Carriers must prevent contact risks between occupants/objects and fixed/moving elements. Fully enclosed carriers with interlocked doors preventing hazardous carrier movement unless closed are required where necessary. Doors must remain closed if carriers stop between landings with fall risks. Machinery must prevent uncontrolled carrier upward/downward movement, stopping carriers at maximum working load and foreseeable maximum speed without harmful deceleration.

6.4.2. Controls at Landings

Landing controls, except emergency controls, must not initiate carrier movements when carrier controls are operated or carriers are not at landings.

6.4.3. Access to the Carrier

Landing and carrier guards must ensure safe transfer to/from carriers, considering goods and persons to be lifted.

6.5. Markings

Carriers must bear safety information, including permitted person number and maximum working load.